401k Plan data: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC plan

RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 401k Plan overview

Plan Name	RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC
Plan identification number	001

RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

CONVERGEX GROUP, LLC has sponsored the creation of one or more 401k plans.

Company Name: CONVERGEX GROUP, LLC

Employer identification number (EIN): 205150276

NAIC Classification: 523120
NAIC Description: Securities Brokerage

Form 5500 Filing Information

Submission information for form 5500 for 401k plan RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2017-01-01 JANE GERHARD
001 2017-01-01 JANE GERHARD
001 2017-01-01 JANE GERHARD
001 2016-01-01 JANE GERHARD
001 2015-01-01 KRISTEN DOERING
001 2014-01-01 KRISTEN DOERING
001 2013-01-01 LAURA YACKO
001 2012-01-01 LAURA YACKO LAURA YACKO 2013-10-08
001 2011-01-01 LAURA YACKO
001 2009-01-01 LAURA YACKO

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2017-01-01	JANE GERHARD
001	2017-01-01	JANE GERHARD
001	2017-01-01	JANE GERHARD
001	2016-01-01	JANE GERHARD
001	2015-01-01	KRISTEN DOERING
001	2014-01-01	KRISTEN DOERING
001	2013-01-01	LAURA YACKO
001	2012-01-01	LAURA YACKO	LAURA YACKO	2013-10-08
001	2011-01-01	LAURA YACKO
001	2009-01-01	LAURA YACKO

Plan Statistics for RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC

401k plan membership statisitcs for RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC

Measure Date Value
2017: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2017 401k membership
Total participants, beginning-of-year 2017-01-01 799
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 0
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 0
Total of all active and inactive participants 2017-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 0
Total participants 2017-01-01 0
Number of participants with account balances 2017-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 56
2016: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2016 401k membership
Total participants, beginning-of-year 2016-01-01 881
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 481
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 318
Total of all active and inactive participants 2016-01-01 799
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 799
Number of participants with account balances 2016-01-01 723
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 11
2015: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2015 401k membership
Total participants, beginning-of-year 2015-01-01 666
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 487
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 394
Total of all active and inactive participants 2015-01-01 881
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 881
Number of participants with account balances 2015-01-01 803
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 29
2014: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2014 401k membership
Total participants, beginning-of-year 2014-01-01 902
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 340
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 326
Total of all active and inactive participants 2014-01-01 666
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 666
Number of participants with account balances 2014-01-01 607
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 33
2013: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2013 401k membership
Total participants, beginning-of-year 2013-01-01 1,501
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 580
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 321
Total of all active and inactive participants 2013-01-01 901
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1
Total participants 2013-01-01 902
Number of participants with account balances 2013-01-01 858
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 40
2012: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2012 401k membership
Total participants, beginning-of-year 2012-01-01 1,476
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 1,185
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 316
Total of all active and inactive participants 2012-01-01 1,501
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 1,501
Number of participants with account balances 2012-01-01 1,371
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 42
2011: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2011 401k membership
Total participants, beginning-of-year 2011-01-01 1,237
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 1,208
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 268
Total of all active and inactive participants 2011-01-01 1,476
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 0
Total participants 2011-01-01 1,476
Number of participants with account balances 2011-01-01 1,311
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 52
2009: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2009 401k membership
Total participants, beginning-of-year 2009-01-01 611
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 892
Number of retired or separated participants receiving benefits 2009-01-01 1
Number of other retired or separated participants entitled to future benefits 2009-01-01 194
Total of all active and inactive participants 2009-01-01 1,087
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 2
Total participants 2009-01-01 1,089
Number of participants with account balances 2009-01-01 933
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 26

Measure	Date	Value
2017: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2017 401k membership
Total participants, beginning-of-year	2017-01-01	799
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	0
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	0
Total of all active and inactive participants	2017-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	0
Total participants	2017-01-01	0
Number of participants with account balances	2017-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	56
2016: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2016 401k membership
Total participants, beginning-of-year	2016-01-01	881
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	481
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	318
Total of all active and inactive participants	2016-01-01	799
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	799
Number of participants with account balances	2016-01-01	723
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	11
2015: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2015 401k membership
Total participants, beginning-of-year	2015-01-01	666
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	487
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	394
Total of all active and inactive participants	2015-01-01	881
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	881
Number of participants with account balances	2015-01-01	803
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	29
2014: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2014 401k membership
Total participants, beginning-of-year	2014-01-01	902
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	340
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	326
Total of all active and inactive participants	2014-01-01	666
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	666
Number of participants with account balances	2014-01-01	607
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	33
2013: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2013 401k membership
Total participants, beginning-of-year	2013-01-01	1,501
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	580
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	321
Total of all active and inactive participants	2013-01-01	901
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1
Total participants	2013-01-01	902
Number of participants with account balances	2013-01-01	858
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	40
2012: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2012 401k membership
Total participants, beginning-of-year	2012-01-01	1,476
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	1,185
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	316
Total of all active and inactive participants	2012-01-01	1,501
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	1,501
Number of participants with account balances	2012-01-01	1,371
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	42
2011: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2011 401k membership
Total participants, beginning-of-year	2011-01-01	1,237
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	1,208
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	268
Total of all active and inactive participants	2011-01-01	1,476
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	0
Total participants	2011-01-01	1,476
Number of participants with account balances	2011-01-01	1,311
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	52
2009: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2009 401k membership
Total participants, beginning-of-year	2009-01-01	611
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	892
Number of retired or separated participants receiving benefits	2009-01-01	1
Number of other retired or separated participants entitled to future benefits	2009-01-01	194
Total of all active and inactive participants	2009-01-01	1,087
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	2
Total participants	2009-01-01	1,089
Number of participants with account balances	2009-01-01	933
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	26

Financial Data on RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC

Measure	Date	Value
2017 : RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2017 401k financial data
Unrealized appreciation/depreciation of real estate assets	2017-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2017-12-31	$0
Total unrealized appreciation/depreciation of assets	2017-12-31	$0
Total transfer of assets to this plan	2017-12-31	$0
Total transfer of assets from this plan	2017-12-31	$95,383,790
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Expenses. Interest paid	2017-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$18,373,217
Total loss/gain on sale of assets	2017-12-31	$0
Total of all expenses incurred	2017-12-31	$24,503,569
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$24,374,383
Expenses. Certain deemed distributions of participant loans	2017-12-31	$21,239
Value of total corrective distributions	2017-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$3,406,353
Value of total assets at end of year	2017-12-31	$0
Value of total assets at beginning of year	2017-12-31	$101,514,142
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$107,947
Total income from rents	2017-12-31	$0
Total interest from all sources	2017-12-31	$59,476
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$3,074,017
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	Yes
Value of any plan assets that reverted to the employer resulting from resoluton to terminate the plan	2017-12-31	$0
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$3,074,017
Assets. Real estate other than employer real property at end of year	2017-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2017-12-31	$0
Administrative expenses professional fees incurred	2017-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2017-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2017-12-31	$0
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$25,000,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Contributions received from participants	2017-12-31	$3,690,945
Participant contributions at end of year	2017-12-31	$0
Participant contributions at beginning of year	2017-12-31	$1,417,747
Participant contributions at end of year	2017-12-31	$0
Participant contributions at beginning of year	2017-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2017-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2017-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$95,898
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2017-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-12-31	$0
Assets. Loans (other than to participants) at end of year	2017-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2017-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2017-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2017-12-31	$0
Other income not declared elsewhere	2017-12-31	$0
Administrative expenses (other) incurred	2017-12-31	$106,669
Liabilities. Value of operating payables at end of year	2017-12-31	$0
Liabilities. Value of operating payables at beginning of year	2017-12-31	$0
Total non interest bearing cash at end of year	2017-12-31	$0
Total non interest bearing cash at beginning of year	2017-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Income. Non cash contributions	2017-12-31	$0
Value of net income/loss	2017-12-31	$-6,130,352
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$101,514,142
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Assets. partnership/joint venture interests at end of year	2017-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2017-12-31	$0
Investment advisory and management fees	2017-12-31	$1,278
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$86,152,080
Value of interest in pooled separate accounts at end of year	2017-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$0
Interest on participant loans	2017-12-31	$47,018
Income. Interest from loans (other than to participants)	2017-12-31	$0
Interest earned on other investments	2017-12-31	$0
Income. Interest from US Government securities	2017-12-31	$0
Income. Interest from corporate debt instruments	2017-12-31	$0
Value of interest in master investment trust accounts at end of year	2017-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2017-12-31	$0
Value of interest in common/collective trusts at end of year	2017-12-31	$0
Value of interest in common/collective trusts at beginning of year	2017-12-31	$12,012,181
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2017-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2017-12-31	$1,551,644
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2017-12-31	$1,551,644
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$12,458
Assets. Value of investments in 103.12 investment entities at end of year	2017-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2017-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2017-12-31	$0
Asset value of US Government securities at end of year	2017-12-31	$0
Asset value of US Government securities at beginning of year	2017-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$11,720,137
Net investment gain/loss from pooled separate accounts	2017-12-31	$0
Net investment gain or loss from common/collective trusts	2017-12-31	$113,234
Net gain/loss from 103.12 investment entities	2017-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Assets. Invements in employer securities at end of year	2017-12-31	$0
Assets. Invements in employer securities at beginning of year	2017-12-31	$0
Assets. Value of employer real property at end of year	2017-12-31	$0
Assets. Value of employer real property at beginning of year	2017-12-31	$0
Contributions received in cash from employer	2017-12-31	$-380,490
Employer contributions (assets) at end of year	2017-12-31	$0
Employer contributions (assets) at beginning of year	2017-12-31	$380,490
Income. Dividends from preferred stock	2017-12-31	$0
Income. Dividends from common stock	2017-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$24,374,383
Asset. Corporate debt instrument preferred debt at end of year	2017-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2017-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2017-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2017-12-31	$0
Contract administrator fees	2017-12-31	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2017-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2017-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2017-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2017-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2017-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2017-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2017-12-31	$0
Did the plan have assets held for investment	2017-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	Yes
Aggregate proceeds on sale of assets	2017-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2017-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2017-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2017-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	BUCKNO LISICKY & COMPANY
Accountancy firm EIN	2017-12-31	232426656
2016 : RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2016 401k financial data
Unrealized appreciation/depreciation of real estate assets	2016-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2016-12-31	$0
Total unrealized appreciation/depreciation of assets	2016-12-31	$0
Total transfer of assets to this plan	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Expenses. Interest paid	2016-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$13,180,654
Total loss/gain on sale of assets	2016-12-31	$0
Total of all expenses incurred	2016-12-31	$10,519,322
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$10,333,187
Expenses. Certain deemed distributions of participant loans	2016-12-31	$0
Value of total corrective distributions	2016-12-31	$42,756
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$5,376,299
Value of total assets at end of year	2016-12-31	$101,514,142
Value of total assets at beginning of year	2016-12-31	$98,852,810
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$143,379
Total income from rents	2016-12-31	$0
Total interest from all sources	2016-12-31	$63,810
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$2,818,312
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$2,818,312
Assets. Real estate other than employer real property at end of year	2016-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2016-12-31	$0
Administrative expenses professional fees incurred	2016-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2016-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2016-12-31	$0
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$25,000,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Contributions received from participants	2016-12-31	$4,564,486
Participant contributions at end of year	2016-12-31	$1,417,747
Participant contributions at beginning of year	2016-12-31	$1,527,019
Participant contributions at end of year	2016-12-31	$0
Participant contributions at beginning of year	2016-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2016-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2016-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$431,323
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2016-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-12-31	$0
Assets. Loans (other than to participants) at end of year	2016-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2016-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2016-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-12-31	$0
Other income not declared elsewhere	2016-12-31	$0
Administrative expenses (other) incurred	2016-12-31	$143,379
Liabilities. Value of operating payables at end of year	2016-12-31	$0
Liabilities. Value of operating payables at beginning of year	2016-12-31	$0
Total non interest bearing cash at end of year	2016-12-31	$0
Total non interest bearing cash at beginning of year	2016-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Income. Non cash contributions	2016-12-31	$0
Value of net income/loss	2016-12-31	$2,661,332
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$101,514,142
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$98,852,810
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Assets. partnership/joint venture interests at end of year	2016-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2016-12-31	$0
Investment advisory and management fees	2016-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$86,152,080
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$83,194,740
Value of interest in pooled separate accounts at end of year	2016-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$0
Interest on participant loans	2016-12-31	$62,979
Income. Interest from loans (other than to participants)	2016-12-31	$0
Interest earned on other investments	2016-12-31	$0
Income. Interest from US Government securities	2016-12-31	$0
Income. Interest from corporate debt instruments	2016-12-31	$0
Value of interest in master investment trust accounts at end of year	2016-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2016-12-31	$0
Value of interest in common/collective trusts at end of year	2016-12-31	$12,012,181
Value of interest in common/collective trusts at beginning of year	2016-12-31	$12,334,148
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2016-12-31	$1,551,644
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2016-12-31	$1,796,903
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2016-12-31	$1,796,903
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$831
Assets. Value of investments in 103.12 investment entities at end of year	2016-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2016-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2016-12-31	$0
Asset value of US Government securities at end of year	2016-12-31	$0
Asset value of US Government securities at beginning of year	2016-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$4,736,539
Net investment gain/loss from pooled separate accounts	2016-12-31	$0
Net investment gain or loss from common/collective trusts	2016-12-31	$185,694
Net gain/loss from 103.12 investment entities	2016-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Assets. Invements in employer securities at end of year	2016-12-31	$0
Assets. Invements in employer securities at beginning of year	2016-12-31	$0
Assets. Value of employer real property at end of year	2016-12-31	$0
Assets. Value of employer real property at beginning of year	2016-12-31	$0
Contributions received in cash from employer	2016-12-31	$380,490
Employer contributions (assets) at end of year	2016-12-31	$380,490
Employer contributions (assets) at beginning of year	2016-12-31	$0
Income. Dividends from preferred stock	2016-12-31	$0
Income. Dividends from common stock	2016-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$10,333,187
Asset. Corporate debt instrument preferred debt at end of year	2016-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2016-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2016-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2016-12-31	$0
Contract administrator fees	2016-12-31	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2016-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2016-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2016-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2016-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2016-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2016-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2016-12-31	$0
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Aggregate proceeds on sale of assets	2016-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2016-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2016-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2016-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	BUCKNO LISICKY & COMPANY
Accountancy firm EIN	2016-12-31	232426656
2015 : RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2015 401k financial data
Unrealized appreciation/depreciation of real estate assets	2015-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2015-12-31	$0
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total transfer of assets to this plan	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Expenses. Interest paid	2015-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$2,672,579
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$14,647,024
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$14,481,966
Expenses. Certain deemed distributions of participant loans	2015-12-31	$0
Value of total corrective distributions	2015-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$5,082,808
Value of total assets at end of year	2015-12-31	$98,852,810
Value of total assets at beginning of year	2015-12-31	$110,827,255
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$165,058
Total income from rents	2015-12-31	$0
Total interest from all sources	2015-12-31	$73,845
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$4,589,909
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$4,589,909
Assets. Real estate other than employer real property at end of year	2015-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2015-12-31	$0
Administrative expenses professional fees incurred	2015-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2015-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2015-12-31	$0
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$25,000,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$4,669,832
Participant contributions at end of year	2015-12-31	$1,527,019
Participant contributions at beginning of year	2015-12-31	$1,815,017
Participant contributions at end of year	2015-12-31	$0
Participant contributions at beginning of year	2015-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2015-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2015-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$325,796
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2015-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$0
Assets. Loans (other than to participants) at end of year	2015-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2015-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2015-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$0
Other income not declared elsewhere	2015-12-31	$0
Administrative expenses (other) incurred	2015-12-31	$165,058
Liabilities. Value of operating payables at end of year	2015-12-31	$0
Liabilities. Value of operating payables at beginning of year	2015-12-31	$0
Total non interest bearing cash at end of year	2015-12-31	$0
Total non interest bearing cash at beginning of year	2015-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Income. Non cash contributions	2015-12-31	$0
Value of net income/loss	2015-12-31	$-11,974,445
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$98,852,810
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$110,827,255
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Assets. partnership/joint venture interests at end of year	2015-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2015-12-31	$0
Investment advisory and management fees	2015-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$83,194,740
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$93,125,894
Value of interest in pooled separate accounts at end of year	2015-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$0
Interest on participant loans	2015-12-31	$73,741
Income. Interest from loans (other than to participants)	2015-12-31	$0
Interest earned on other investments	2015-12-31	$0
Income. Interest from US Government securities	2015-12-31	$0
Income. Interest from corporate debt instruments	2015-12-31	$0
Value of interest in master investment trust accounts at end of year	2015-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2015-12-31	$0
Value of interest in common/collective trusts at end of year	2015-12-31	$12,334,148
Value of interest in common/collective trusts at beginning of year	2015-12-31	$14,887,605
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$1,796,903
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$998,739
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$998,739
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$104
Assets. Value of investments in 103.12 investment entities at end of year	2015-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2015-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2015-12-31	$0
Asset value of US Government securities at end of year	2015-12-31	$0
Asset value of US Government securities at beginning of year	2015-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-7,103,711
Net investment gain/loss from pooled separate accounts	2015-12-31	$0
Net investment gain or loss from common/collective trusts	2015-12-31	$29,728
Net gain/loss from 103.12 investment entities	2015-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Assets. Invements in employer securities at end of year	2015-12-31	$0
Assets. Invements in employer securities at beginning of year	2015-12-31	$0
Assets. Value of employer real property at end of year	2015-12-31	$0
Assets. Value of employer real property at beginning of year	2015-12-31	$0
Contributions received in cash from employer	2015-12-31	$87,180
Employer contributions (assets) at end of year	2015-12-31	$0
Employer contributions (assets) at beginning of year	2015-12-31	$0
Income. Dividends from preferred stock	2015-12-31	$0
Income. Dividends from common stock	2015-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$14,481,966
Asset. Corporate debt instrument preferred debt at end of year	2015-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2015-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2015-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2015-12-31	$0
Contract administrator fees	2015-12-31	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2015-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2015-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2015-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2015-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2015-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2015-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2015-12-31	$0
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Aggregate proceeds on sale of assets	2015-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2015-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2015-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2015-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2015-12-31	Disclaimer
Accountancy firm name	2015-12-31	MARCUM LLP
Accountancy firm EIN	2015-12-31	111986323
2014 : RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2014 401k financial data
Unrealized appreciation/depreciation of real estate assets	2014-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2014-12-31	$0
Total unrealized appreciation/depreciation of assets	2014-12-31	$0
Total transfer of assets to this plan	2014-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Expenses. Interest paid	2014-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2014-12-31	$0
Total income from all sources (including contributions)	2014-12-31	$13,123,059
Total loss/gain on sale of assets	2014-12-31	$0
Total of all expenses incurred	2014-12-31	$17,045,731
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$16,811,985
Expenses. Certain deemed distributions of participant loans	2014-12-31	$29,942
Value of total corrective distributions	2014-12-31	$27,000
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$7,139,965
Value of total assets at end of year	2014-12-31	$110,827,255
Value of total assets at beginning of year	2014-12-31	$114,749,927
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$176,804
Total income from rents	2014-12-31	$0
Total interest from all sources	2014-12-31	$86,809
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$4,919,974
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$4,919,974
Assets. Real estate other than employer real property at end of year	2014-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2014-12-31	$0
Administrative expenses professional fees incurred	2014-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2014-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2014-12-31	$0
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$25,000,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$5,297,123
Participant contributions at end of year	2014-12-31	$1,815,017
Participant contributions at beginning of year	2014-12-31	$2,198,850
Participant contributions at end of year	2014-12-31	$0
Participant contributions at beginning of year	2014-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2014-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2014-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$1,837,294
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$0
Assets. Loans (other than to participants) at end of year	2014-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$0
Other income not declared elsewhere	2014-12-31	$0
Administrative expenses (other) incurred	2014-12-31	$176,804
Liabilities. Value of operating payables at end of year	2014-12-31	$0
Liabilities. Value of operating payables at beginning of year	2014-12-31	$0
Total non interest bearing cash at end of year	2014-12-31	$0
Total non interest bearing cash at beginning of year	2014-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Income. Non cash contributions	2014-12-31	$0
Value of net income/loss	2014-12-31	$-3,922,672
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$110,827,255
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$114,749,927
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Assets. partnership/joint venture interests at end of year	2014-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2014-12-31	$0
Investment advisory and management fees	2014-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$93,125,894
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$94,690,095
Value of interest in pooled separate accounts at end of year	2014-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2014-12-31	$0
Interest on participant loans	2014-12-31	$86,686
Income. Interest from loans (other than to participants)	2014-12-31	$0
Interest earned on other investments	2014-12-31	$0
Income. Interest from US Government securities	2014-12-31	$0
Income. Interest from corporate debt instruments	2014-12-31	$0
Value of interest in master investment trust accounts at end of year	2014-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2014-12-31	$0
Value of interest in common/collective trusts at end of year	2014-12-31	$14,887,605
Value of interest in common/collective trusts at beginning of year	2014-12-31	$15,770,665
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$998,739
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$1,277,944
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$1,277,944
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$123
Assets. Value of investments in 103.12 investment entities at end of year	2014-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2014-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2014-12-31	$0
Asset value of US Government securities at end of year	2014-12-31	$0
Asset value of US Government securities at beginning of year	2014-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$841,898
Net investment gain/loss from pooled separate accounts	2014-12-31	$0
Net investment gain or loss from common/collective trusts	2014-12-31	$134,413
Net gain/loss from 103.12 investment entities	2014-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Assets. Invements in employer securities at end of year	2014-12-31	$0
Assets. Invements in employer securities at beginning of year	2014-12-31	$0
Assets. Value of employer real property at end of year	2014-12-31	$0
Assets. Value of employer real property at beginning of year	2014-12-31	$0
Contributions received in cash from employer	2014-12-31	$5,548
Employer contributions (assets) at end of year	2014-12-31	$0
Employer contributions (assets) at beginning of year	2014-12-31	$812,373
Income. Dividends from preferred stock	2014-12-31	$0
Income. Dividends from common stock	2014-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$16,811,985
Asset. Corporate debt instrument preferred debt at end of year	2014-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2014-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2014-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2014-12-31	$0
Contract administrator fees	2014-12-31	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2014-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2014-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2014-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2014-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2014-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2014-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2014-12-31	$0
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Aggregate proceeds on sale of assets	2014-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2014-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2014-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2014-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2014-12-31	Disclaimer
Accountancy firm name	2014-12-31	MARCUM LLP
Accountancy firm EIN	2014-12-31	111986323
2013 : RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2013 401k financial data
Unrealized appreciation/depreciation of real estate assets	2013-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2013-12-31	$0
Total unrealized appreciation/depreciation of assets	2013-12-31	$0
Total transfer of assets to this plan	2013-12-31	$0
Total transfer of assets from this plan	2013-12-31	$36,359,878
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Expenses. Interest paid	2013-12-31	$0
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$27,939,057
Total loss/gain on sale of assets	2013-12-31	$0
Total of all expenses incurred	2013-12-31	$9,646,234
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$9,462,698
Expenses. Certain deemed distributions of participant loans	2013-12-31	$0
Value of total corrective distributions	2013-12-31	$5,391
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$9,523,109
Value of total assets at end of year	2013-12-31	$114,749,927
Value of total assets at beginning of year	2013-12-31	$132,816,982
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$178,145
Total income from rents	2013-12-31	$0
Total interest from all sources	2013-12-31	$100,221
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$3,750,520
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$3,750,520
Assets. Real estate other than employer real property at end of year	2013-12-31	$0
Assets. Real estate other than employer real property at beginning of year	2013-12-31	$0
Administrative expenses professional fees incurred	2013-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at end of year	2013-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2013-12-31	$0
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$25,000,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$8,127,331
Participant contributions at end of year	2013-12-31	$2,198,850
Participant contributions at beginning of year	2013-12-31	$2,635,355
Participant contributions at end of year	2013-12-31	$0
Participant contributions at beginning of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at end of year	2013-12-31	$0
Assets. Other investments not covered elsewhere at beginning of year	2013-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$739,854
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$0
Assets. Loans (other than to participants) at end of year	2013-12-31	$0
Assets. Loans (other than to participants) at beginning of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$0
Other income not declared elsewhere	2013-12-31	$0
Administrative expenses (other) incurred	2013-12-31	$178,145
Liabilities. Value of operating payables at end of year	2013-12-31	$0
Liabilities. Value of operating payables at beginning of year	2013-12-31	$0
Total non interest bearing cash at end of year	2013-12-31	$0
Total non interest bearing cash at beginning of year	2013-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Income. Non cash contributions	2013-12-31	$0
Value of net income/loss	2013-12-31	$18,292,823
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$114,749,927
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$132,816,982
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Assets. partnership/joint venture interests at end of year	2013-12-31	$0
Assets. partnership/joint venture interests at beginning of year	2013-12-31	$0
Investment advisory and management fees	2013-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$94,690,095
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$105,438,538
Value of interest in pooled separate accounts at end of year	2013-12-31	$0
Value of interest in pooled separate accounts at beginning of year	2013-12-31	$0
Interest on participant loans	2013-12-31	$100,098
Income. Interest from loans (other than to participants)	2013-12-31	$0
Interest earned on other investments	2013-12-31	$0
Income. Interest from US Government securities	2013-12-31	$0
Income. Interest from corporate debt instruments	2013-12-31	$0
Value of interest in master investment trust accounts at end of year	2013-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2013-12-31	$0
Value of interest in common/collective trusts at end of year	2013-12-31	$15,770,665
Value of interest in common/collective trusts at beginning of year	2013-12-31	$19,314,949
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$1,277,944
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$1,471,893
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$1,471,893
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$123
Assets. Value of investments in 103.12 investment entities at end of year	2013-12-31	$0
Assets. Value of investments in 103.12 investment entities at beginning of year	2013-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2013-12-31	$0
Asset value of US Government securities at end of year	2013-12-31	$0
Asset value of US Government securities at beginning of year	2013-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$14,719,769
Net investment gain/loss from pooled separate accounts	2013-12-31	$0
Net investment gain or loss from common/collective trusts	2013-12-31	$-154,562
Net gain/loss from 103.12 investment entities	2013-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Assets. Invements in employer securities at end of year	2013-12-31	$0
Assets. Invements in employer securities at beginning of year	2013-12-31	$0
Assets. Value of employer real property at end of year	2013-12-31	$0
Assets. Value of employer real property at beginning of year	2013-12-31	$0
Contributions received in cash from employer	2013-12-31	$655,924
Employer contributions (assets) at end of year	2013-12-31	$812,373
Employer contributions (assets) at beginning of year	2013-12-31	$3,956,247
Income. Dividends from preferred stock	2013-12-31	$0
Income. Dividends from common stock	2013-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$9,462,698
Asset. Corporate debt instrument preferred debt at end of year	2013-12-31	$0
Asset. Corporate debt instrument preferred debt at beginning of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2013-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2013-12-31	$0
Contract administrator fees	2013-12-31	$0
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2013-12-31	No
Assets. Corporate common stocks other than exployer securities at end of year	2013-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2013-12-31	$0
Liabilities. Value of benefit claims payable at end of year	2013-12-31	$0
Liabilities. Value of benefit claims payable at beginning of year	2013-12-31	$0
Assets. Value of buildings and other operty used in plan operation at end of year	2013-12-31	$0
Assets. Value of buildings and other operty used in plan operation at beginning of year	2013-12-31	$0
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Aggregate proceeds on sale of assets	2013-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$0
Liabilities. Value of acquisition indebtedness at end of year	2013-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2013-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2013-12-31	Disclaimer
Accountancy firm name	2013-12-31	MARCUM LLP
Accountancy firm EIN	2013-12-31	111986323
2012 : RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2012 401k financial data
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$28,975,266
Total of all expenses incurred	2012-12-31	$5,367,077
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$5,148,620
Expenses. Certain deemed distributions of participant loans	2012-12-31	$27,191
Value of total corrective distributions	2012-12-31	$4,819
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$14,987,971
Value of total assets at end of year	2012-12-31	$132,816,982
Value of total assets at beginning of year	2012-12-31	$109,208,793
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$186,447
Total interest from all sources	2012-12-31	$119,077
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$3,011,876
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$3,011,876
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$10,831,243
Participant contributions at end of year	2012-12-31	$2,635,355
Participant contributions at beginning of year	2012-12-31	$2,306,677
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$458,910
Administrative expenses (other) incurred	2012-12-31	$186,447
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$23,608,189
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$132,816,982
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$109,208,793
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$105,438,538
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$84,507,153
Interest on participant loans	2012-12-31	$119,043
Value of interest in common/collective trusts at end of year	2012-12-31	$19,314,949
Value of interest in common/collective trusts at beginning of year	2012-12-31	$16,569,802
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$1,471,893
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$34
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$10,485,647
Net investment gain or loss from common/collective trusts	2012-12-31	$370,695
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$3,697,818
Employer contributions (assets) at end of year	2012-12-31	$3,956,247
Employer contributions (assets) at beginning of year	2012-12-31	$5,825,161
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$5,148,620
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2012-12-31	No
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2012-12-31	Disclaimer
Accountancy firm name	2012-12-31	MARCUM LLP
Accountancy firm EIN	2012-12-31	111986323
2011 : RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2011 401k financial data
Total income from all sources (including contributions)	2011-12-31	$13,708,661
Total loss/gain on sale of assets	2011-12-31	$-43,857
Total of all expenses incurred	2011-12-31	$6,101,892
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$5,980,873
Value of total corrective distributions	2011-12-31	$21,103
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$17,323,516
Value of total assets at end of year	2011-12-31	$109,208,793
Value of total assets at beginning of year	2011-12-31	$101,602,024
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$99,916
Total interest from all sources	2011-12-31	$109,513
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$2,550,325
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2011-12-31	$2,545,639
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$500,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$9,958,305
Participant contributions at end of year	2011-12-31	$2,306,677
Participant contributions at beginning of year	2011-12-31	$1,753,118
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$1,275,648
Value of other receiveables (less allowance for doubtful accounts) at end of year	2011-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2011-12-31	$4
Administrative expenses (other) incurred	2011-12-31	$99,912
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$7,606,769
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$109,208,793
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$101,602,024
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Investment advisory and management fees	2011-12-31	$4
Value of interest in registered invesment companies (eg mutual funds) at end of year	2011-12-31	$84,507,153
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2011-12-31	$80,786,316
Interest on participant loans	2011-12-31	$109,492
Value of interest in common/collective trusts at end of year	2011-12-31	$16,569,802
Value of interest in common/collective trusts at beginning of year	2011-12-31	$14,665,370
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2011-12-31	$0
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2011-12-31	$25,802
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2011-12-31	$25,802
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2011-12-31	$21
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2011-12-31	$-6,689,085
Net investment gain or loss from common/collective trusts	2011-12-31	$458,249
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Assets. Invements in employer securities at end of year	2011-12-31	$0
Assets. Invements in employer securities at beginning of year	2011-12-31	$643,320
Contributions received in cash from employer	2011-12-31	$6,089,563
Employer contributions (assets) at end of year	2011-12-31	$5,825,161
Employer contributions (assets) at beginning of year	2011-12-31	$3,728,094
Income. Dividends from common stock	2011-12-31	$4,686
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$5,980,873
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2011-12-31	No
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Aggregate proceeds on sale of assets	2011-12-31	$616,556
Aggregate carrying amount (costs) on sale of assets	2011-12-31	$660,413
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2011-12-31	Disclaimer
Accountancy firm name	2011-12-31	MARCUM LLP
Accountancy firm EIN	2011-12-31	111986323
2010 : RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$47,919
Total unrealized appreciation/depreciation of assets	2010-12-31	$47,919
Total transfer of assets to this plan	2010-12-31	$3,351,564
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$0
Total income from all sources (including contributions)	2010-12-31	$30,367,796
Total loss/gain on sale of assets	2010-12-31	$1,058
Total of all expenses incurred	2010-12-31	$4,998,957
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$4,967,960
Value of total corrective distributions	2010-12-31	$19,631
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$18,536,982
Value of total assets at end of year	2010-12-31	$101,602,024
Value of total assets at beginning of year	2010-12-31	$72,881,621
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$11,366
Total interest from all sources	2010-12-31	$107,558
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$1,674,902
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$1,667,149
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$500,000
If this is an individual account plan, was there a blackout period	2010-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Contributions received from participants	2010-12-31	$8,674,534
Participant contributions at end of year	2010-12-31	$1,753,118
Participant contributions at beginning of year	2010-12-31	$1,297,478
Income. Received or receivable in cash from other sources (including rollovers)	2010-12-31	$1,201,402
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$4
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$6
Administrative expenses (other) incurred	2010-12-31	$11,366
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$25,368,839
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$101,602,024
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$72,881,621
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$80,786,316
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$59,024,969
Interest on participant loans	2010-12-31	$107,500
Value of interest in common/collective trusts at end of year	2010-12-31	$14,665,370
Value of interest in common/collective trusts at beginning of year	2010-12-31	$11,926,278
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$25,802
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$25,885
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$25,885
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$58
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$9,511,396
Net investment gain or loss from common/collective trusts	2010-12-31	$487,981
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	No
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Assets. Invements in employer securities at end of year	2010-12-31	$643,320
Assets. Invements in employer securities at beginning of year	2010-12-31	$607,005
Contributions received in cash from employer	2010-12-31	$8,661,046
Employer contributions (assets) at end of year	2010-12-31	$3,728,094
Employer contributions (assets) at beginning of year	2010-12-31	$0
Income. Dividends from common stock	2010-12-31	$7,753
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$4,967,960
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2010-12-31	No
Did the plan have assets held for investment	2010-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Aggregate proceeds on sale of assets	2010-12-31	$22,587
Aggregate carrying amount (costs) on sale of assets	2010-12-31	$21,529
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2010-12-31	Disclaimer
Accountancy firm name	2010-12-31	MARCUM LLP
Accountancy firm EIN	2010-12-31	200694403
2009 : RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC

2017: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	Submission has been amended	Yes
2017-01-01	This submission is the final filing	Yes
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	Submission has been amended	No
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes
2009: RETIREMENT SAVINGS PLAN OF CONVERGEX GROUP, LLC 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	CONVERGEX GROUP, LLC
Employer identification number (EIN):	205150276
NAIC Classification:	523120
NAIC Description:	Securities Brokerage